category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital
fund management, or derivatives investment management company; “fund” means mutual fund and private fund; “investor” means any person interested in investing in capital market products including
of newly issued warrants and underlying shares to the public in the amount of ……………………………...units, and having…………………..……. as a financial advisor, the details of the offer for sale of newly issued
subsidiary at the price with a discount not exceeding 10 percent of the valuation of investment monies recommended by the financial advisor from KT Zmico Securities Co., Ltd (financial advisor in an approved
person who appraises the assets shall have any of the following characteristics: (1) being a financial advisor or an asset appraisal firm in the capital market whose name is on the approval list of the SEC
securities) 6. Details and Scope of Interest of Connected Person Mr.Somchao Tanterdtham, an authorized director holding directly and indirectly totaling 57.69% in NCAD, also holds directly and indirectly of
Commission SorThor./Khor. 40/2547 Re: Form of Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor 19/10/2004
relev ors and the g each asset in pany shall th sset, regardle reholders me advisor to pro as well as to ment in the Bang Ba-Trad ea of 28 rai, Road, Km. 5, uare wah; ai Ya Subdis g three parce orey
to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
Bangkok, December 23, 2015 ? According to the highly publicized news coverage on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three